payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act
financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, and by failing to ensure
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation
SEC files criminal complaint against six GEN?s directors and executives for failing to perform duties with responsibility and due care causing damage to the company Bangkok, May 17, 2012 ? The SEC
Securities and Exchange Act B.E. 2535 (1992) (SEA). The Criminal Fining Committee has therefore imposed a separate fine of 500,000 baht each on NEWS and Mr. Arak for failing to order or take action in
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities